Anthony J Mitus (CRD #5613183) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Anthony J Mitus (CRD #5613183) has been the subject of disclosure events reported on Anthony J Mitus’s FINRA BrokerCheck. According to Anthony J Mitus’s FINRA BrokerCheck report accessed on January 15, 2026, Anthony J Mitus has been the subject of one customer dispute disclosure. If you invested with Anthony J Mitus and you have concerns about his activity, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor disputes / customer complaints

Anthony Mitus’s FINRA BrokerCheck report reflects one customer dispute disclosure. Below is one example:

Example 1 (Pending): Anthony Mitus’s FINRA BrokerCheck report reflects a customer complaint received on November 26, 2025. The customer alleges misrepresentation with respect to UBTI tax liability he incurred on master limited partnerships sold in his IRA when he transferred them into Morgan Stanley during 2024-2025. The product type is listed as Direct Investment-DPP & LP Interests, and alleged damages are listed as $0.00 (damages explanation: Unspecified).

Rule summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 (Suitability) requires broker-dealers and associated persons to have a reasonable basis to believe that a recommended transaction or investment strategy is suitable for the customer based on the customer’s investment profile, including factors such as risk tolerance, financial situation, and tax status.

Rule summary #2: FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices)

FINRA Rule 2020 prohibits effecting transactions or inducing the purchase or sale of securities by means of any manipulative, deceptive, or other fraudulent device or contrivance. Allegations of misrepresentation or omission of material information often implicate this rule.

Why this matters to investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.

Reg BI is built around four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
2. Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
3. Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
4. Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.

Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.

Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background information (from BrokerCheck)

Based on his BrokerCheck Report, Anthony Mitus reportedly:

• Is currently registered with Morgan Stanley.
• Has passed the Series 7TO, SIE, and Series 66 exams.
• Is registered with 4 self-regulatory organizations and 6 states, according to his BrokerCheck report.

Kurta Law Can Help

If you have worked with Anthony Mitus and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

Helpful resources: Unsuitable Investments | Misrepresentation and Omission

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable—because investors should not have to sit quietly while alleged misconduct and securities fraud go unchecked. Start your recovery process today.